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DW

Dora P. Waters

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CRD#: 7166475
DW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dora P Waters, who also goes by Dora S.w.pan Waters, was a registered financial professional .

Dora is a previously registered financial professional and started their career in finance in 2019. Dora had worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dora S.w.pan Waters

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Other Business Activities Dora P. Waters is currently self-employed as a licensed real estate broker and Redlands Real Estate Exchange owner in the STATE OF CALIFORNIA. This activity accounts for approximately 25-30% of the working hours each week, 0% during trading hours. Dora P. Waters is also a licensed B-1 General Contractor and Owner of Deco Construction licensed with the STATE OF CALIFORNIA. This activity accounts for less than 1% of the working hours and zero hours during the trading time. Dora P. Waters is also involved in the supervisory role of citrus and avocado farming. This activity accounts for approximately 3-5% of the working hours each week, 0% during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 26, 2019 - April 20, 2024

DP WATERS WEALTH MANAGEMENT LLC

RIA
CRD#: 304875
Redlands, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/5/2019
Uniform Investment Adviser Law Examination

Current Firm

DW
DP WATERS WEALTH MANAGEMENT LLC
DP WATERS WEALTH MANAGEMENT LLC | REDLANDS REAL ESTATE EXCHANGE

CRD#: 304875 / SEC#:

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Contact information

Main Address
3334 E. Coast Hwy. #729, Corona Del Mar, CA 92625
Mailing Address
Phone number
(949) 942-4628
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DP WATERS WEALTH MANAGEMENT LLC

CRD#: 304875

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